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CIRCULAR No

CIRCULAR No. 04/2001/TT-BKH OF JUNE 5, 2001 GUIDING THE IMPLEMENTATION OF THE PRIME MINISTER�S DECISION No. 64/2001/QD-TTg OF APRIL 26, 2001 ISSUING THE REGULATION ON THE MANAGEMENT AND USE OF FOREIGN NON-GOVERNMENTAL AIDS

Pursuant to the Government�s Decree No. 75/CP of November 1, 1995 on the functions, tasks, powers and organizational structure of the Ministry of Planning and Investment;

Pursuant to the Prime Minister�s Decision No. 64/2001/QD-TTg of April 26, 2001 issuing the Regulation on the management and use of foreign non-governmental (NGO) aids, hereinafter referred to as NGO Aid Regulation;

The Ministry of Planning and Investment hereby guides the implementation of the Prime Minister�s Decision No. 64/2001/QD-TTg of April 26, 2001 issuing the NGO Aid Regulation for programs and projects as follows:

I. GENERAL PROVISIONS

1.1. Term interpretation

In the NGO Aid Regulation and in this Circular, a number of terms below shall be construed as follows:

a/ The "aid-providing party" means subjects providing NGO aids, including:

- Foreign non-governmental organizations.

- Foreign consortiums and companies.

- Foreign universities, research institutes, centers, funds or agencies.

- Associations and friendship societies set up overseas, including the community of overseas Vietnamese.

- Individuals being foreigners, including overseas Vietnamese.

b/ The "Vietnamese party" includes the following agencies and organizations:

- The agencies attached to the Party�s Central Committee.

- The State agencies (the National Assembly�s Office, the Supreme People�s Procuracy, the Supreme People�s Court...).

- The ministries, the ministerial-level agencies, the agencies attached to the Government.

- The People�s Committees of the provinces and centrally-run cities.

- The political organizations under the Vietnam Fatherland Front.

- The mass organizations, including:

+ The socio-professional organizations.

+ The societies and associations (including their affiliates) operating nationwide and set up by decisions of the competent authorities.

+ The societies and associations (including their affiliates) operating in provinces or centrally-run cities and set up by decisions of the presidents of the People�s Committees of provinces or centrally-run cities.

c/ The "managing agencies" mean the agencies mentioned at Item b above.

d/ The "program owners" or "project owners" (hereafter referred to as project owners for short) mean organizations assigned to directly manage and use capital sources of the aid-providing party for the implementation of aid programs or projects according to the approved contents.

II. PREPARATION OF CONTENTS, EVALUATION, RATIFICATION AND SIGNING OF PROGRAMS AND PROJECTS

2.1. Requirements for elaboration of NGO aid program/project documents

a/ All NGO aid programs and projects must have their own drafts for aid mobilization with major contents prescribed in Appendix I to this Circular (not printed herein).

The drafts of programs/projects shall be used by the managing agencies to coordinate with the aid-providing party in elaborating the program/project documents.

b/ After the aid-providing party issues a written notice on its commitment to provide or commitment to consider the provision of aid for a program or project, the managing agency shall coordinate with the aid-providing party in finalizing and reaching agreement on the program/project dossier for evaluation and ratification.

2.2. Evaluation and ratification of programs and projects:

a/ The documents of NGO aid-funded programs and projects mentioned in Clause 1, Items a, b and e; Clause 2, Item a, of Article 6 of the NGO Aid Regulation must be evaluated and ratified by competent authorities for signing and implementation.

b/ For programs and projects falling under the ratifying competence of the Prime Minister as prescribed in Clause 1, Items a, b and e of Article 6 of the NGO Aid Regulation, the Ministry of Planning and Investment shall assume the prime responsibility for evaluation.

c/ For programs and projects falling under the ratifying competence of the heads of managing agencies of the Vietnamese party as prescribed in Clause 2, Item a of Article 6 of the NGO Aid Regulation, the bodies assuming the prime responsibility for evaluation shall be decided by the managing agencies.

d/ In the course of evaluation, the unanimous or divergent opinions of concerned parties must be reflected in the evaluation report by the body assuming the prime responsibility for evaluation.

e/ The concerned agencies participating in evaluation shall be held responsible before law for the contents of their opinions on NGO aid programs or projects.

f/ The body assuming the prime responsibility for evaluation shall sum up opinions of the concerned agencies (in writing with its head�s signature) and make the evaluation report. The evaluation report must clarify the following contents:

- The conformity of the program/project with the Government�s priority;

- The program/project�s feasibility regarding: i/ the management and implementation capability; ii/ the mechanism for coordination in the implementation process; iii/ the Vietnamese party�s capability to make contribution, especially the reciprocal capital source;

- The rationality of the program/project�s budget structure for: i/ domestic and overseas specialists; ii/ domestic and overseas training; iii/ equipment, facilities and supplies; iv/ management expenses and other expenses;

- The aid-providing party�s commitments, prerequisites and other conditions (if any) for the provision of aids; as well as the Vietnamese party�s commitments to implement the program/project;

- The efficiency and sustainability of the program/project after its completion;

g/ A valid dossier for evaluation of NGO aid program/project includes:

- The project owner�s written request for evaluation.

- The managing agency head�s written request for document requesting evaluation and ratification of the program/project (applicable to programs and projects falling under the ratifying competence of the Prime Minister).

- The original program/project documents in the language used by the aid-providing party and the Vietnamese translation thereof already agreed upon by the project owner and the aid-providing party.

- The aid-providing party�s written notice on its commitment to provide aids or commitment to consider aids for the program/project.

- The memorandum of understanding or agreement on NGO aid provision signed between representatives of the Vietnamese party and the aid-providing party.

- All written comments of the concerned agencies on the program/project.

- The copy(ies) of the permit(s) granted by the Working Committee for Non-Governmental Organizations to foreign non-governmental organization(s) (according to the Prime Minister�s Decision No. 340/TTg of May 24, 1996). Where such a permit is not available, the managing agency shall have to give clear written explanation thereon.

h/ Procedures and time limits for evaluation of programs and projects under the Prime Minister�s ratifying competence:

- Within 5 working days after receiving a complete and valid dossier (8 sets) from the managing agency, the Ministry of Planning and Investment shall send documents to the Government�s Office, the Finance Ministry, the Union of Vietnam Friendship Organizations, the Government�s specialized management bodies and concerned localities, requesting the latter to give their official opinions on the program/project.

- Within 15 working days after the Ministry of Planning and Investment issues the said documents, the concerned agencies shall have to send their official written opinions to the Ministry of Planning and Investment. Past this time limit, if these agencies have no written opinions, they shall be regarded as having agreed to the program/project documents� contents.

- Within 10 working days after the expiry of the time limit for opinion contribution by the agencies, depending on the nature, contents and size of the program/project, the Ministry of Planning and Investment shall:

+ Sum up opinions and submit them to the Prime Minister for consideration and decision.

+ Organize the evaluation of the program/project with the participation of such agencies as the Government�s Office, the Finance Ministry, the Union of Vietnam Friendship Organizations as well as concerned ministries, branches and localities.

The evaluation results shall be reflected in the evaluation result report.

Within 5 working days as from the evaluation date (if the program/project needs not to be adjusted) or as from the date of receiving the program/project documents already finalized according to conclusions in the evaluation result report (if the program/project needs to be adjusted), the Ministry of Planning and Investment shall submit such program/project to the Prime Minister for consideration and ratification.

In cases where the program/project needs to be adjusted, the managing agency shall have to coordinate with the aid-providing party in adjusting it according to conclusions in the evaluation result report. For the adjustment suggestions not accepted by the aid-providing party, the managing agency shall have to notify them in writing to the Ministry of Planning and Investment for further reporting to the Prime Minister for decision.

- Within 10 working days after the Prime Minister ratifies the program/project, the managing agency shall notify the aid-providing party of the ratification result for the signing and implementation of the program/project.

- Within 15 working days as from the date of signing, the managing agency shall have to send to the Government�s Office, the Ministry of Planning and Investment, the Finance Ministry and the Union of Vietnam Friendship Organizations the program/project documents already signed by representatives of the Vietnamese party and the aid-providing party, and affixed with page-overlapping stamps.

i/ For programs and projects falling under the ratifying competence of the heads of the managing agencies as defined in Clause 2, Item a of Article 6 of the NGO Aid Regulation:

- The heads of the managing agencies shall ratify programs and projects within their competence and take personal responsibility for their decisions.

- The procedures and time limits for evaluation and ratification of programs and projects shall be stipulated and promulgated by the managing agencies.

- For programs and projects implemented in the areas or territorial regions involving national defense, security, religion and ethnic matters, before deciding the ratification thereof, the managing agencies shall have to reach agreement with the concerned agencies such as the Ministry of Public Security, the Ministry of Defense and the Government Commission for Religious Affairs. For programs and projects to be implemented by the central agencies in localities, before deciding the ratification thereof, such agencies shall have to consult the provincial-level People�s Committees of the localities where the aid programs and projects shall be implemented. In case of divergent opinions, the authority with ratifying competence shall have to report such to the Prime Minister for consideration and decision.

- Within 10 working days as from the date of ratification, the managing agency shall notify the aid-providing party of the ratifying decision so as to proceed with the signing and implementation of the program/project.

- Within 15 working days after the signing of the program/project documents, the managing agency shall have to send to the Ministry of Planning and Investment, the Finance Ministry and the Union of Vietnam Friendship Organizations the ratifying decision (the original) together with the ratified and signed program/project documents, affixed with page-overlapping stamps.

j/ With regard to the aids provided for overcoming post-emergency consequences (mentioned in Clause 6 of Article 2 of the NGO Aid Regulation) and implemented in form of programs or projects, the above-mentioned evaluation and ratification order and procedures shall apply.

III. MANAGEMENT OF IMPLEMENTATION OF NGO AID PROGRAMS AND PROJECTS

3.1. Project owners

Owners of projects (including owners of component projects, if any) must be defined in the program/project ratifying decisions, issued by the competent authorities of the Vietnamese party.

3.2. The program/project management board

a/ The managing agency shall issue decision to set up the program/project management board (hereafter called the project management board for short) right after the program/project documents are ratified by the competent authority.

b/ The project management board shall represent the project owner, have full power to exercise, on behalf of the project owner, the delegated powers and perform the assigned tasks, from the commencement till the completion of the project, including the final account settlement, pre-acceptance test, hand-over and putting of the project into exploitation and use.

c/ The project management board must have organization and operation regulation to be ratified by the managing agency.

3.3. Adjustment, amendment, supplement of the contents of NGO aid programs/projects in the course of implementation

a/ In principle, the authority which is competent to ratify a program/project shall ratify the adjustments, amendments or supplements thereto in the course of implementation.

b/ For programs and projects ratified by the Prime Minister:

- The following adjustments, amendments or supplements must be submitted to the Prime Minister:

+ Adjustments, amendments or supplements which lead to the alteration of the objectives, contents or results of the ratified programs or projects.

+ Adjustments, amendments or supplements which increase the ratified total capital by more than 10% or less than 10% but more than USD 50,000 (for a single adjustment, amendment or supplement or progressively for multiple adjustments, amendments or supplements).

- Other adjustments, amendments or supplements shall be approved by the heads of the managing agencies.

The procedures and time limits for evaluation and approval of adjustments, amendments or supplements to the contents of programs or projects ratified by the Prime Minister shall be stipulated as follows:

* Within 5 working days after receiving a written request enclosed with detailed exposition from the managing agency, the Ministry of Planning and Investment shall send a document to the Government�s Office, the Finance Ministry, the Union of Vietnam Friendship Organizations and the Government�s relevant specialized management agencies, requesting the latter to give their official opinions on the proposed adjustments, amendments or supplements to the program or project contents.

* Within 15 working days as from the date the Ministry of Planning and Investment issues the document, the concerned agencies shall have to send their official written opinions to the Ministry of Planning and Investment. Past this time limit, if these agencies fail to send their written opinions to the Ministry of Planning and Investment, they shall be regarded as having agreed thereto and the Ministry of Planning and Investment shall make a sum-up to be submitted to the Prime Minister for consideration and decision.

c/ For programs and projects ratified by the managing agencies:

- Any adjustments, amendments or supplements which make the programs/projects fall in one of the cases prescribed in Clause 1, Items a, b and e of Article 6 of the NGO Aid Regulation must be submitted to the Prime Minister for consideration and approval.

- Other adjustments, amendments or supplements shall be approved by the heads of the managing agencies. The approval procedures shall be stipulated and promulgated by the managing agencies.

VI. MONITORING, ASSESSMENT OF NGO AID PROGRAMS AND PROJECTS

4.1. The reports on the implementation of NGO aid programs and projects shall be made biannually, annually and upon the completion of the programs and projects as stipulated in Article 20 of the NGO Aid Regulation.

4.2. The Ministry of Planning and Investment shall coordinate with the Finance Ministry in assuming the prime responsibility for preparing the contents and organizing the annual inspection and supervision, in selected areas according to the provisions at Clause 1 of Article 21 of the NGO Aid Regulation.

V. ORGANIZATION OF IMPLEMENTATION

5.1. The ministers, the heads of the ministerial-level agencies, the heads of the agencies attached to the Government, the presidents of the People�s Committees of the provinces and centrally-run cities, the president of the Union of Vietnam Friendship Organizations and the heads of the central bodies of mass and people�s organizations shall have to implement this Circular.

5.2. This Circular takes effect 15 days after its signing.

In the course of implementation, if any problems arise, the concerned ministries, localities and units should report them to the Ministry of Planning and Investment for appropriate supplement and finalization of this Circular.

Minister of Planning and Investment
TRAN XUAN GIA